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S49207 State v. Ausmus
State: Oregon
Docket No: none
Case Date: 03/11/2004

FILED: March 11, 2004

IN THE SUPREME COURT OF THE STATE OF OREGON


STATE OF OREGON,

Respondent on Review,

v.

JASON LEE AUSMUS,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

CHRISTOPHER PECK ANDREWS,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

WARREN B. COX,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

MARIA ESTELA GONZALEZ,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

MASHAUN ALLEN HORNE,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

LEAH HART-LANDSBERG,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

CHARLES WILMER JOHNSON,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

AARON WILLIAM MILLER,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

KRISTEN EARLEEN SAGE,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

DANA DeMASTER,

Petitioner on Review.

STATE OF OREGON,

Respondent on Review,

v.

MELISSA WADE ROHS,

Petitioner on Review.

(CC Nos. 9901-40130, 9812-51296, 9901-40371, 9901-40129,
9901-40128, 9901-40231, 9905-13654, 9901-40232,
9901-40126, 9812-51298, 9901-40234; CA A107691 (Control),
A107692, A107693, A107694, A107695,
A107696, A107697, A107698, A107699,
A107700, A107701; SC S49207 (Control), S49364)

On review from the Court of Appeals.*

Argued and submitted March 5, 2003.

Hugh Sage, Portland, argued the cause and filed the briefs for petitioner on review Sage. With him on the brief on the merits was Timothy M. Bowman. Andrew S. Chilton, Portland, argued the cause and filed the briefs for petitioners on review Cox, DeMaster, Gonzalez, Hart-Landsberg, Johnson, Miller, and Rohs. With him on the brief on the merits were Lisa J. Ludwig, Steven J. Sherlag, Timothy M. Bowman, Paul T. Loney, A. Alexander Hamalain, Stuart A. Sugarman, and Lake James H. Perriguey.

No appearance for petitioners on review Ausmus, Andrews, and Horne.

Erika L. Hadlock, Assistant Attorney General, Salem, argued the cause and filed the brief for respondent on review. With her on the brief were Hardy Myers, Attorney General, and Mary H. Williams, Solicitor General.

Alia S. Miles and Jonathan A. Ater of Ater Wynne LLP, Portland, and Les Swanson, Portland, filed a brief on behalf of amicus curiae ACLU Foundation of Oregon, Inc.

Before, Carson, Chief Justice, and Gillette, Durham, Riggs, De Muniz, and Balmer, Justices.**

DE MUNIZ, J.

The decision of the Court of Appeals is reversed. The judgments of the circuit court are affirmed.

*Appeals from Multnomah County Circuit Court, Michael H. Marcus, Judge. 178 Or App 321, 37 P3d 1024 (2001).

**Kistler, J., did not participate in the consideration or decision of this case.

DE MUNIZ, J.

The issue in each of these cases, which were consolidated on appeal and on review, concerns the facial constitutionality of one variation of the crime labeled in ORS 166.025(1)(e) as disorderly conduct. ORS 166.025(1)(e) provides, in part:

"A person commits the crime of disorderly conduct if, with intent to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof, the person:

"* * * * *

"(e) Congregates with other persons in a public place and refuses to comply with a lawful order of the police to disperse[.]"

Each defendant demurred to an accusatory instrument that charged that defendant with violating the foregoing statute. Each defendant raised, among other things, two types of facial constitutional challenges to the statute, arguing that (1) the statute was unconstitutionally overbroad, in that it criminalized forms of expression, speech, and peaceable assembly protected under Article I, sections 8 and 26, of the Oregon Constitution (1) and the First Amendment to the United States Constitution; (2) and (2) the statute was unconstitutionally vague under Article I, sections 20 and 21, of the Oregon Constitution (3) and the Due Process Clause of the Fourteenth Amendment to the United States Constitution. (4) The trial court sustained defendants' demurrers, concluding that ORS 166.025(1)(e) was unconstitutionally vague under the Oregon Constitution. The state appealed, and the Court of Appeals reversed and remanded to the trial court. State v. Ausmus, 178 Or App 321, 37 P3d 1024 (2001). We allowed review and now reverse the decision of the Court of Appeals and affirm the judgments of the trial court.

In this court, defendants, joined by amicus curiae American Civil Liberties Union Foundation of Oregon, Inc., again challenge the constitutionality of ORS 166.025(1)(e) on the grounds that that statute is both overbroad and vague in violation of the state and federal constitutions. (5) Because we cannot address those constitutional challenges until we first discern the conduct that ORS 166.025(1)(e) proscribes, we begin our analysis by construing that statute, beginning with its text and context. See State v. Chakerian, 325 Or 370, 376-80, 938 P2d 756 (1997) (construing statute before addressing similar facial constitutional challenges); PGE v. Bureau of Labor and Industries, 317 Or 606, 610-12, 859 P2d 1143 (1993) (setting out statutory construction methodology). In doing so, we give words of common usage "their plain, natural and ordinary meaning." Id. at 611. We also consider, at the first level of analysis, any prior case law from this court interpreting the statute at issue. State v. Toevs, 327 Or 525, 532, 964 P2d 1007 (1998). If the legislature's intent is clear from that analysis, then our inquiry ends. PGE, 317 Or at 611.

Under ORS 166.025(1)(e), a person commits one variation of the crime of disorderly conduct when the person: (1) with the intent to cause, or by recklessly creating a risk of causing, public inconvenience, annoyance, or alarm; (2) congregates with other persons in a public place; and (3) refuses to comply with a lawful order of the police to disperse. The parties agree, as do we, that the element of "[c]ongregates with other persons in a public place" under ORS 166.025(1)(e) describes conduct encompassed within the meaning of the phrase "assembling together" under Article I, section 26, and the word "assemble" under the First Amendment. See __ Or at __ nn 1, 2 (slip op at nn 1, 2) (setting out constitutional provisions). The parties, however, disagree as to the meaning of the other two elements of the crime -- specifically, the statutory culpable mental state and the meaning of the term "lawful order" contained within the phrase "refuses to comply with a lawful order of the police to disperse." We address in turn the parties' arguments about the meaning of each of those statutory elements.

Defendants and the state disagree about both the effect and the scope of the culpable mental state described in ORS 166.025(1)(e). First, defendants argue that the culpable mental state under ORS 166.025(1)(e) operates to prohibit a congregation of people that intentionally causes, or recklessly creates a risk of causing, public inconvenience, annoyance, or alarm. As we understand the premise of that argument, defendants view the culpable mental state under ORS 166.025(1)(e) -- that is, an "intent to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof" -- as effectively proscribing any congregation from which a factfinder may infer an intent to cause, or a reckless creation of a risk of causing, the type of harm described under that statutory phrase. See generally Delgado v. Souders, 334 Or 122, 135, 137, 46 P3d 729 (2002) (element of culpable mental state may be established by circumstantial evidence and reasonable inferences arising from such evidence, including evidence of particular conduct). As we explain below, that premise is incorrect, because it ignores the part of the statutory definition of the crime that requires a person also to "refuse to comply with a lawful order of the police to disperse."

This court previously has explained that the statutory phrase "intent to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof," does not describe a harm, or a risk of a harm, that ORS 166.025(1) prohibits. See State v. Spencer, 289 Or 225, 229, 611 P2d 1147 (1980) (explaining that public inconvenience, annoyance, or alarm is not prohibited harm under ORS 166.025(1)). Instead, that phrase describes the culpable mental state that the state must prove that a defendant possessed when the defendant engaged in the conduct that the statute proscribes under each variation of the crime of disorderly conduct. (6) Id. Under paragraph (e) of ORS 166.025(1), the paragraph challenged here, that proscribed conduct is both the congregation with others in a public place and the refusal to obey a lawful order of the police to disperse. Stated differently, a person who congregates with others in a public place with the intent to cause, or by recklessly creating a risk of causing, public inconvenience, annoyance, or alarm violates ORS 166.025(1)(e) only if that person also refuses to obey a lawful police order to disperse with that same mental state. Thus, contrary to defendants' argument, the statutory culpable mental state does not purport to criminalize only the act of congregating with others with the intent to cause the statutorily described circumstances.

Defendants and the state also make arguments that suggest that their views differ respecting the effect of the culpable mental state that ORS 166.025(1)(e) requires. Defendants posit that ORS 166.025(1)(e) would withstand their constitutional challenges if the culpable mental state under that statute required the state to prove that, by engaging in the proscribed conduct, the defendant intended only to cause public inconvenience, annoyance, or alarm -- or, in other words, that the defendant lacked any intent to exercise a constitutionally protected right, such as the right to free expression or speech, or peaceable assembly. The state, however, asserts that, even if a defendant intended to exercise a constitutionally protected right, a defendant also may possess the requisite statutory mental state if he or she intended to cause, or recklessly created a risk of causing, one of the statutorily described circumstances. (7)

Whether the culpable mental state under ORS 166.025(1)(e) requires proof of a defendant's sole intent is a question of statutory interpretation. Because ORS 166.025(1)(e) is a criminal statute, the statutory definitions of the culpable mental states of "with intent" and "recklessly" provided under ORS 161.085 apply. See ORS 161.085 (providing definitions for culpable mental states under Oregon Criminal Code of 1971 unless context requires otherwise). That statute defines those terms as follows:

"(7) 'Intentionally' or 'with intent,' when used with respect to a result or to conduct described by a statute defining an offense, means that a person acts with a conscious objective to cause the result or to engage in the conduct so described.

"* * * * *

"(9) 'Recklessly,' when used with respect to a result or to a circumstance described by a statute defining an offense, means that a person is aware of and consciously disregards a substantial and unjustifiable risk that the result will occur or that the circumstance exists. The risk must be of such nature and degree that disregard thereof constitutes a gross deviation from the standard of care that a reasonable person would observe in the situation."

Applying those statutory definitions to ORS 166.025(1)(e), we conclude that ORS 166.025(1)(e) requires that a defendant act with the conscious objective to cause ("with intent"), or with the awareness and conscious disregard of the substantial and unjustified risk of causing ("recklessly creating a risk thereof"), a public inconvenience, annoyance, or alarm. Further, nothing in the text of the statute suggests that a defendant who possesses dual intentions -- that is, to cause public inconvenience, annoyance, or alarm and to exercise a constitutionally protected right -- is exempt from the purview of the statute. Thus, a defendant may intend to exercise a constitutionally protected right -- such as the right to free expression or speech, or peaceable assembly -- and nevertheless may possess the mental state proscribed under ORS 166.025(1)(e).

Having clarified the effect and scope of the culpable mental state under ORS 166.025(1)(e), we next consider the meaning of the term "lawful order" in the statutory phrase "refuses to comply with a lawful order of the police to disperse." Amicus (8) contends that the term "lawful order" means any order that a duly appointed and authorized police officer issues and that that term encompasses an order to disperse issued for any reason whatsoever. By contrast, the state argues that the term "lawful order" refers to only an order that a duly appointed and authorized police officer issues that also is supported by -- and is not in violation of -- substantive law, including the state and federal constitutions. Stated differently, the state asserts that an order to disperse is a "lawful order" under ORS 166.025(1)(e) only if it does not infringe on a person's exercise of constitutionally protected rights, such as the right to free expression or speech and the right to peaceable assembly.

The term "lawful order" is not statutorily defined. The dictionary defines the word "lawful," in part, as "conformable to law : allowed or permitted by law : enforceable in a court of law * * *." Webster's Third New Int'l Dictionary 1279 (unabridged ed 1993). We conclude that the legislature intended that dictionary definition to serve as the meaning of the word "lawful" in ORS 166.025(1)(e) for two reasons. First, the dictionary definition is the natural and ordinary meaning of the word "lawful." As noted, under PGE, 317 Or at 611, this court generally gives words of common usage their plain, natural, and ordinary meaning. Second, amicus's proffered definition -- that is, that "lawful order" encompasses any order that a duly appointed and authorized police officer issues -- necessarily would include police orders that, at the time that they are issued, are contrary to substantive law. Such a reading divests the word "lawful" of much, if not all, of its substantive meaning. Cf. ORS 174.010 (if possible, court shall construe statute so as to give effect to all words contained therein).

In sum, we conclude that a person violates ORS 166.025(1)(e) if, with the conscious objective to cause, or with the awareness and conscious disregard of the substantial and unjustified risk of causing, public inconvenience, annoyance, or alarm, that person (1) congregates with others in a public place; and (2) refuses to comply with an order to disperse that a police officer issues and that is authorized by, and is not contrary to, substantive law. Having construed ORS 166.025(1)(e) to discern the legislature's intent, we now turn to defendants' facial constitutional challenges.

As noted above, defendants first challenge ORS 166.025(1)(e) on the ground that that statute is overbroad in violation of Article I, sections 8 and 26, of the Oregon Constitution and the First Amendment to the United States Constitution. Specifically, defendants contend that the statute does not preclude its application to persons permissibly exercising their rights to free expression under Article I, section 8, their rights to congregate in peaceable assembly under Article I, section 26, and their rights to free speech and peaceable assembly under the First Amendment.

A statute is unconstitutionally overbroad if it purports to prohibit conduct that is constitutionally protected. State v. Robertson, 293 Or 402, 410, 649 P2d 569 (1982). As this court explained in Robertson, a claim of overbreadth often can be resolved by interpreting the statute at issue; that is, in construing the statute, the court may conclude that the legislature did not intend its terms to operate with the breadth for which the challengers contend. Id.

As noted above, in interpreting ORS 166.025(1)(e), we have concluded that the statutory element "[c]ongregates with other persons" describes constitutionally protected conduct, and we further have concluded that the statutory culpable mental state does not preclude the application of ORS 166.025(1)(e) when a person intends to exercise constitutionally protected rights.

The state contends, however, that the term "lawful order" confines the application of ORS 166.025(1)(e) to circumstances in which its application does not infringe on constitutionally protected conduct. In other words, according to the state, police orders that infringe on rights protected under Article I, sections 8 and 26, and the First Amendment are not encompassed within the scope of the statute unless some attending circumstance –- the commission of an assault, for example –- rendered them constitutionally permissible. As we explain below, we do not agree with the state's assertion that the term "lawful order" confines the statute's application to conduct not otherwise protected by Article I, sections 8 and 26, of the Oregon Constitution.

The state is correct that the protection of speech and assembly under the Oregon Constitution is not absolute. The state argues, for example, that police lawfully may order a group of people to disperse when (1) they are engaged in criminal activity, see, e.g., ORS 133.310(1) (authorizing police officers to make warrantless arrests when crimes committed in their presence or when probable cause exists to believe that particular person committed crime); (2) they create a threat of imminent serious physical injury, see, e.g., ORS 163.190 (menacing statute); State v. Garcias, 296 Or 688, 697, 679 P2d 1354 (1984) (explaining that state may forbid placing another person in fear of imminent serious physical injury, unless conduct privileged); (3) they themselves are in danger, see ORS 133.033 (describing community caretaking function of police officers); and (4) they are a threat to the integrity of a criminal investigation, see, e.g., ORS 162.247(1)(a), (2) (interference with lawful duties of police officer is misdemeanor).

We agree that the statutes set out above, as well as others, provide the police with lawful authority to arrest a person engaging in the behavior prohibited by those statutes. Similarly, those statutes provide the police with authority to order a crowd of people engaging in the conduct prohibited by those statutes to cease that conduct and to disperse. The elements of ORS 166.025(1)(e), however, reach beyond the activity or conduct that gave rise to the police order to disperse, and criminalize conduct that is in response to the order to disperse. In other words, ORS 166.025(1)(e) proscribes conduct (congregating with others in a public place) that occurs after the order to disperse and that may be separate and apart from the conduct that might have given rise to the order to disperse. It is the range of the conduct that the statute criminalizes that must be tested against the constitutional rights of assembly and speech.

An individual refusing to comply with a lawful police order to disperse may react in a variety of ways. For example, an individual may continue the prohibited behavior (e.g., fighting) that gave rise to the police order to disperse. In that case, the police could arrest the individual for engaging in that behavior and, assuming that the individual is congregating with others with the requisite mental state, could arrest the individual for disorderly conduct under paragraph (e) of ORS 166.025(1).

However, an individual may respond to an order to disperse, simply by ceasing the behavior that gave rise to the order to disperse, while continuing to congregate peaceably with others with one of the mental states proscribed by the statute. As we previously have noted, a person intending to exercise a constitutionally protected right such as peaceable assembly or expression coincidently may possess an intent to cause public inconvenience, annoyance, or alarm. In fact, individuals often undertake the exercise of protected rights such as assembly or expression with the intent of causing public inconvenience, annoyance, or alarm to those, such as government leaders, who are exposed to the assembly or expression.

The difficulty with ORS 166.025(1)(e), is that, a person ordered to disperse violates ORS 166.025(1)(e) regardless of whether or not any harm results from the refusal to disperse, the continued congregation with others, or the proscribed mental state. Thus, the statute applies to an individual who, in response to an order to disperse, abandons whatever activity in which they were engaged that made the order lawful in the first place, but continues peaceably to congregate with others, with the intent to cause public inconvenience, annoyance, or alarm or recklessly creates the risk of causing public inconvenience, annoyance or alarm. And, because ORS 166.025(1)(e) reaches that conduct, the legislature has stepped beyond the permissible regulation of damaging conduct or the harmful effects that may result from assembly or speech. See, e.g., Spencer, 289 Or 225 (holding variant of former disorderly conduct unconstitutional as direct restraint on speech rather than regulation or prevention of specified harm).

The foregoing construction of the statute's scope appears inescapable. There is nothing in the description of the elements of the statute that would permit this court faithfully to narrow the application of the statute to only conduct that the constitution does not protect. See, e.g., Robertson, 293 Or at 434-36 (examining whether statute is overbroad because it reaches areas of constitutionally privileged expression and whether narrowing construction possible to save state from unconstitutional overbreadth); City of Hillsboro v. Purcell, 306 Or 547, 555-56, 761 P2d 510 (1988) (same). Simply put, congregating with others in a manner that does not cause harm, even when coupled with one of the mental states proscribed in the statute, is conduct that Article I, sections 8 and 26, protects.

The legislature has authorized the police through a multitude of statutes, a number of which we have described above, to prevent and regulate harmful effects that may result from expression or assembly. However, the variant of disorderly conduct that paragraph (e) of ORS 166.025(1) defines includes conduct and thought that does not produce a harmful effect. Article I, sections 8 and 26, protect individuals from that form of governmental restraint.

We conclude that, on its face, ORS 166.025(1)(e) is unconstitutionally overbroad because it restrains conduct that Article I, sections 8 and 26, of the Oregon Constitution protects. The trial court correctly sustained defendants' demurrers.

The decision of the Court of Appeals is reversed. The judgments of the circuit court are affirmed.

1. Article I, section 8, of the Oregon Constitution provides:

"No law shall be passed restraining the free expression of opinion, or restricting the right to speak, write, or print freely on any subject whatever; but every person shall be responsible for the abuse of this right."

Article I, section 26, of the Oregon Constitution provides, in part:

"No law shall be passed restraining any of the inhabitants of the State from assembling together in a peaceable manner to consult for their common good[.]"

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2. The First Amendment to the United States Constitution provides, in part:

"Congress shall make no law * * * abridging the freedom of speech * * * or the right of the people peaceably to assemble * * *."

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3. Article I, section 20, of the Oregon Constitution provides:

"No law shall be passed granting to any citizen or class of citizens privileges, or immunities, which, upon the same terms, shall not equally belong to all citizens."

Article I, section 21, of the Oregon Constitution provides, in part:

"No ex-post facto law * * * shall ever be passed * * *."

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4. The Fourteenth Amendment to the United States Constitution provides, in part:

"No State shall * * * deprive any person of life, liberty, or property, without due process of law[.]"

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5. We note that, although all defendants challenge ORS 166.025(1)(e) on the same constitutional grounds, the particularities of their arguments differ in some respects. For ease of reading, we refer to defendants collectively as "defendants" throughout this opinion and do not distinguish their specific arguments.

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6. ORS 166.025(1) provides in its entirety:

"(1) A person commits the crime of disorderly conduct if, with intent to cause public inconvenience, annoyance or alarm, or recklessly creating a risk thereof, the person:

"(a) Engages in fighting or in violent, tumultuous or threatening behavior;

"(b) Makes unreasonable noise;

"(c) Disturbs any lawful assembly of persons without lawful authority;

"(d) Obstructs vehicular or pedestrian traffic on a public way;

"(e) Congregates with other persons in a public place and refuses to comply with a lawful order of the police to disperse;

"(f) Initiates or circulates a report, knowing it to be false, concerning an alleged or impending fire, explosion, crime, catastrophe or other emergency; or

"(g) Creates a hazardous or physically offensive condition by any act which the person is not licensed or privileged to do."

(Emphasis added.) As can be seen from its text, ORS 166.025(1) does not define any variation of disorderly conduct by describing a prohibited harm. Instead, in each paragraph under ORS 166.025(1), the statute describes conduct that, if performed with the requisite mental state, constitutes disorderly conduct.

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7. The parties draw their arguments, in large part, from the United States Supreme Court's decision in Colten v. Kentucky, 407 US 104, 92 S Ct 1953, 32 L Ed 2d 584 (1972). In that case, the Court relied on a state appellate court construction of a state statute virtually identical to ORS 166.025(1)(e), wherein the state appellate court had concluded that the statute applied only when a defendant possessed a "predominant" intent to cause, or recklessly created a risk of causing, the statutorily described harms. As can be seen in the text that follows, we do not construe ORS 166.025(1)(e) in the same manner as that upon which the Court in Colten relied.

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8. Defendants do not challenge the state's proffered interpretation of the term "lawful order" under ORS 166.025(1)(e); instead, they argue that, even if the state's interpretation of that term is correct, the statute nevertheless is unconstitutionally overbroad and vague in violation of the state and federal constitutions.

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Filed: June 30, 2011 IN THE SUPREME COURT OF THE STATE OF OREGON In Re: Complaint as to the Conduct of J. MARK LAWRENCE, Accused. (OSB 08-115; SC S058778) En Banc On review of the decision of a trial panel of the Disciplinary Board. Argued and submitted May 2, 2011. Paula Lawrence, McMinnville, argued and cause and filed the briefs for accused. Stacy Hankin, Assistant Disciplinary Counsel, Tigard, argued the cause and filed the brief for the Oregon State Bar. PER CURIAM The complaint is dismissed. PER CURIAM The issue in this lawyer disciplinary proceeding is whether the accused, by releasing a partial transcript of a juvenile hearing to the press, violated Rule of Professional Conduct (RPC) 8.4(a)(4), which prohibits a lawyer from engaging in conduct that is prejudicial to the administration of justice. A trial panel found the accused guilty of violating RPC 8.4(a)(4) and suspended him for 60 days. We review the decision of the trial panel de novo. ORS 9.536(2); BR 10.6. Because we conclude that

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the Bar failed to prove by clear and convincing evidence that the accused's conduct caused prejudice to the administration of justice, we dismiss the complaint. The facts are straightforward and largely undisputed. In 2007, the accused represented a juvenile male who, along with another male friend, allegedly had touched or swatted several female classmates on the buttocks and had danced in front of the females in a lascivious manner. The incident occurred at the students' middle school. After being informed of the youths' behavior, the vice principal and a police officer interviewed the victims. Based on those interviews, the accused's client and his friend were arrested by a McMinnville Police Officer on February 22, 2007. On February 23, the Yamhill County Juvenile Department filed a delinquency petition alleging that the accused's client had committed acts that, if done by an adult, would have constituted five counts of first-degree sexual abuse and five counts of third-degree sexual abuse. At an initial detention hearing that same day, the court ordered the youths to remain in custody. The events giving rise to this disciplinary action arose out of a second detention hearing held on February 27, 2007, before Judge John Collins. The accused called two of the victims to testify on behalf of his client. The female victims testified that the youths were their friends and that they did not find the youths to be threatening in any way. Regarding the alleged sexual abuse, the female victims testified that the touching or swatting was not sexual in nature but rather was mere horseplay. The victims also testified that they felt pressured by the vice principal and the police officer to make the touching sound hurtful and uncomfortable when it was not. By the second detention hearing, the case was receiving substantial media 2

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attention. Judge Collins allowed the press to attend the detention hearing, but prohibited the press from recording the proceedings. The parties dispute whether the judge prohibited only video recordings or also prohibited audio recordings.1 A number of newspaper and television stories reported the events and testimony at the hearing. After the hearing, the accused obtained a copy of the official audio recording of the hearing and had a partial transcript prepared that contained the victims' testimony. In March 2007, a reporter contacted the accused about the February 27 hearing. The reporter, who was not present at the hearing, expressed disbelief that the female victims had felt pressured by the vice principal and the police officer to make the youths' actions seem sexual. The accused offered to give the reporter a copy of the partial transcript when it was available. The accused believed that it would have been improper to give the reporter the official audio recording of the hearing but thought that the transcript could be released. The accused contacted Deborah Markham, the deputy district attorney handling the case, to see if she objected to releasing the transcript. Markham told the accused that she believed that the court would have to consent. The accused then released the transcript to the reporter without obtaining permission from Judge Collins. Deputy District Attorney Deborah Markham testified that Judge Collins prohibited video recording. Judge Collins testified that he might have prohibited the press from recording the detention hearing, but that he did not remember whether he did so or not. He did remember allowing video recording at a later hearing in the proceeding. The accused testified that Judge Collins prohibited video recording but that he could not remember if the judge prohibited audio recording.
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When Judge Collins learned that the transcript had been released -following news reports that cited the transcript -- he called a meeting with Markham and the accused and told them to release no other transcripts. The testimony from the accused, Markham, and Judge Collins differs regarding that meeting. The accused described the meeting as relaxed and said that Judge Collins had stated that the release of the transcript was permissible. Markham testified that Judge Collins was "very concerned" about the release of the transcript and that Judge Collins said that the accused's disclosure violated the law. Judge Collins testified that the accused did not get his consent to release the transcript, but that he was not sure if the accused needed to do so under the circumstances of the case, particularly given the presence of the press at the hearing. In Judge Collins's description, the meeting was not contentious; although he requested that the parties refrain from releasing any additional transcripts, he did not "feel like [he] needed to be firm" and so did not issue an order barring further releases. In April 2008, several months after the juvenile case was resolved, Tim Loewen, director of the Yamhill County Juvenile Department, reported the accused's action of releasing the transcript to the Bar. After investigating the matter, the Bar charged the accused with violating RPC 8.4(a)(4)2 by releasing to the press "information
2

RPC 8.4(a) provides, in relevant part: "It is professional misconduct for a lawyer to: "* * * * * "(4) engage in conduct that is prejudicial to the administration of

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appearing in the record" of a juvenile case without court consent, in violation of ORS 419A.255(1) and (3).3 The Bar alleged that the accused had "usurped" Judge Collins's authority to control the proceeding by not seeking the court's consent before releasing the transcript, and thereby had caused prejudice to the administration of justice. In the proceeding before the trial panel, the accused argued that his release of the transcript did not violate ORS 419A.255 for each of three independent reasons: (1) the transcript that he had prepared was not a part of the record of the case and so was not subject to ORS 419A.255; (2) Judge Collins had consented to the release of the information contained in the transcript when he allowed the press to attend and report on

justice[.]"
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ORS 419A.255 provides, in relevant part:

"(1) The clerk of the court shall keep a record of each case, including therein the summons and other process, the petition and all other papers in the nature of pleadings, motions, orders of the court and other papers filed with the court, but excluding reports and other material relating to the child, ward, youth or youth offender's history and prognosis. The record of the case shall be withheld from public inspection but is open to inspection by the child, ward, youth, youth offender, parent, guardian, court appointed special advocate, surrogate or a person allowed to intervene in a proceeding involving the child, ward, youth or youth offender, and their attorneys. The attorneys are entitled to copies of the record of the case. "* * * * * "(3) Except as otherwise provided in subsection (7) of this section, no information appearing in the record of the case or in reports or other material relating to the child, ward, youth or youth offender's history or prognosis may be disclosed to any person not described in subsection (2) of this section without the consent of the court * * * ."

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the hearing; and (3) the information in the transcript could be released under ORS 419A.255(5)(b) and (d), which list certain exceptions to the confidentiality of juvenile records. Even assuming that he did violate ORS 419A.255, the accused asserted, he did not violate RPC 8.4(a)(4), because his conduct was not prejudicial to the administration of justice. That was so, according to the accused, because the defendant and the victims supported releasing the transcript and because the information contained in the transcript had already been made public as a result of the press attending and reporting on the hearing. Thus, in the accused's view, no harm -- actual or potential -- resulted from his conduct. The trial panel found by clear and convincing evidence that the accused had violated RPC 8.4(a)(4) and suspended the accused from the practice of law for 60 days. The trial panel first determined that ORS 419A.255(3) prohibited the accused from releasing the partial transcript to the press without the consent of the trial court and that the accused had violated the statute in doing so. With little discussion, the trial panel then found that the evidence that the accused had violated the statute also was sufficient to show prejudice to the administration of justice and thus that the accused had violated RPC 8.4(a)(4). The accused sought review in this court. To prove a violation of RPC 8.4(a)(4), the Bar must prove (1) that the accused lawyer's action or inaction was improper; (2) that the accused lawyer's conduct occurred during the course of a judicial proceeding; and (3) that the accused lawyer's conduct had or could have had a prejudicial effect upon the administration of justice. See In re Kluge, 335 Or 326, 345, 66 P3d 492 (2003) (citing In re Haws, 310 Or 741, 746-48, 6

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801 P2d 818 (1990)) (so stating for identically worded former DR 1-102(A)(4)). Because we find the issue to be dispositive, we begin by examining the third element -- whether the accused's conduct had or could have had a prejudicial effect on the administration of justice -- and assume, without deciding, that the accused's conduct violated ORS 419A.255(3) and otherwise satisfied the test set out in Kluge and Haws. Prejudice to the administration of justice "may arise from several acts that cause some harm or a single act that causes substantial harm to the administration of justice." Kluge, 335 Or at 345. This court has identified two components to the "administration" of justice: "1) The procedural functioning of the proceeding; and 2) the substantive interest of a party in the proceeding." Haws, 310 Or at 747. "A lawyer's conduct could have a prejudicial effect on either component or both." Id. The Bar argues that the accused's conduct, a single act, resulted in prejudice to the administration of justice because it had the potential to cause substantial harm to the procedural functioning of the court. The Bar asserts, "Substantial potential harm to the administration of justice occurs whenever a lawyer interferes in or usurps the court's ability to do its job in a proceeding pending before it." The Bar states that the accused "usurped" the court's authority by not seeking Judge Collins's consent prior to releasing the transcript. The Bar cites three disciplinary cases to support its position that the accused's conduct resulted in substantial potential harm to the administration of justice. First, in In re Eadie, 333 Or 42, 36 P3d 468 (2001), this court found a violation of former DR 1-102(A)(4) where the accused lawyer submitted a proposed order containing a 7

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misrepresentation that was intended to influence the judge in changing the trial date. Id. at 58. That conduct substantially harmed the procedural functioning of the court because it resulted in the judge acquiescing to a trial date preferred by the accused and made it necessary for the judge to resolve a dispute resulting from the accused's misrepresentation and to redraft an order. Id. Second, in In re Morris, 326 Or 493, 953 P2d 387 (1998), this court concluded that the accused lawyer had engaged in a single act of conduct that had the potential to cause substantial harm, either to the procedural functioning of the court or to the substantive interests of the parties, when she knowingly filed a notarized document that she had altered. Id. at 502-03. Third, in In re Thompson, 325 Or 467, 940 P2d 512 (1997), this court found a violation of former DR 1-102(A)(4) where the accused lawyer physically confronted a judge after receiving an adverse decision. That conduct caused substantial harm to the administration of justice because the accused's ex parte communication with the judge "unfairly attack[ed] the independence, integrity, and respect due a member of the judiciary." Id. at 475. The conduct also had the potential to cause substantial harm, because it could have influenced the judge to change her decision or to recuse herself from the case. Id. In each of the preceding cases, the accused lawyer engaged in conduct that had the potential to disrupt or to improperly influence the court's decision-making process, Thompson, 325 Or at 475; that created unnecessary work for the court, Eadie, 333 Or at 58; or that had the potential to mislead the court, Morris, 326 Or at 503. Moreover, in Eadie and Morris, the accused lawyers made knowing misrepresentations to the court. Similarly, in Kluge, the accused lawyer's conduct in knowingly filing an 8

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untimely motion to disqualify the trial judge and then failing to serve the motion on opposing counsel caused prejudice to "the procedural functioning of the judicial system by imposing a substantial burden upon both opposing counsel and [the trial judge] to undo the accused's actions." 335 Or at 346. In this case, the Bar has made no showing, as required by Kluge and Haws, that the accused's conduct harmed the procedural functioning of the judicial system, either by disrupting or improperly influencing the court's decision-making process or by creating unnecessary work or imposing a substantial burden on the court or the opposing party. Nor has the Bar shown that his conduct had the potential to result in any of the above. Certainly, Judge Collins did not testify that the accused's actions interfered with Judge Collins's conduct of the juvenile proceeding. Although the Bar correctly asserts that ORS 419A.255 gives the trial court control over the release of protected information in a juvenile record -- and, as noted, we assume without deciding that the accused acted improperly in not seeking the trial court's consent -- the Bar's theory fails to take into account the fact that the information contained in the partial transcript that the accused released was presented in open court and had already been reported by the press.4 It is difficult to see how the accused's release of the same information, in the context of this case, had the potential to cause any harm to the proceeding, much less substantial harm.

Article I, section 10, of the Oregon Constitution grants members of the public, including the press, the right to attend juvenile hearings. State ex rel Oregonian Pub. Co. v. Deiz, 289 Or 277, 284-85, 613 P2d 23 (1980).

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See Kluge, 335 Or at 345 (prejudice to the administration of justice may arise from "several acts that cause some harm or a single act that causes substantial harm"). Indeed, the Bar makes no effort to show that the accused's conduct could have resulted in new information being made public or that the release of the partial transcript itself had any potential impact on the proceeding. In fact, after the press attended the hearing and the accused released the transcript, Judge Collins allowed members of the press to listen to the official audio recording of the hearing. Nevertheless, the Bar asserts that Judge Collins was sufficiently "concerned" about the release of the information to call the accused and Markham to his chambers to discuss the incident. The fact that Judge Collins was "concerned" and met with the accused and Markham does not, by itself, demonstrate the potential for substantial harm to the procedural functioning of the court. Judge Collins himself stated that, although "in a perfect world," he probably would not have wanted the transcript released, in the context of this case and the open court provision of Article I, section 10, of the Oregon Constitution, the release of the partial transcript was likely permissible without his consent because "if [the press is] * * * going to know the information and report the information, at least get it right." Judge Collins's testimony, then, does not demonstrate that the accused's conduct impacted the procedural functioning of the court, even if the accused's conduct was cause for "concern." Nor does the Bar offer any evidence to prove that the release of the partial transcript harmed the substantive interests of the accused's client, the victims, or the state. The accused released the transcript, with the support of his client, in response to an 10

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inquiry from the media and in order to respond to inaccuracies appearing in some media reports. The accused maintained the confidentiality of the victims' names in the transcript, referring to them by their initials, consistent with an earlier order by Judge Collins. In this proceeding, the accused also submitted letters from the two victims who testified (and their parents) that stated their support for the release of the partial transcript. Finally, there was no testimony from the Yamhill County Juvenile Department that the release of the partial transcript had any effect on its substantive interests or its ability to prosecute the case. The Bar appears, instead, to take the position that virtually any violation of a statute, rule, or court order that occurs during the course of a court proceeding and relates to the conduct or any procedural aspect of that proceeding necessarily is prejudicial to the administration of justice. The Bar asserts, in effect, that "substantial potential" harm is implicit in the accused's conduct. Our cases, however, require proof by clear and convincing evidence that an accused's conduct in a specific judicial proceeding caused actual or potential harm to the administration of justice and, when only one wrongful act is charged, that actual or potential harm must be "substantial." Kluge, 335 Or at 345; Haws, 310 Or at 748. Here, the Bar's evidence did not prove that substantial harm resulted or could have resulted from the accused's conduct. We conclude that the Bar has not proved by clear and convincing evidence that the accused violated RPC 8.4(a)(4). The accused's conduct did not result in such prejudice, because there is no evidence that the release of the partial transcript, which contained solely information already presented in open court and reported by the press, 11

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harmed the procedural functioning of the judicial system. Nor is there any evidence that the substantive rights of the accused's client, the other juvenile defendant, the victims, or the state were harmed. "Prejudice to the administration of justice" requires such a showing. Haws, 310 Or at 747-48. The complaint is dismissed.

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